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DFSA
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Unnamed entity
An Associate Director/Relationship Manager received an Enforceable Undertaking from the DFSA under DIFC Regulatory and Markets Laws for conduct affecting a client.
Date
2013-09-01
Entity type
—
Action type
—
Fine (as written)
—
Fine (normalised AED)
—
Personal fine
Yes
Individual role
Associate Director/Relationship Manager
Regulations breached
Article 89 Regulatory Law, Markets Law
Scraped at
2026-07-04T16:57:27.904483+00:00